Disciplinary Actions

Disciplinary Actions 

Where feasible, disciplinary articles are periodically removed from this site in accordance with the following guidelines:

  • Terminations generally remain on the Web site for a maximum of seven years. If the member has his/her membership reinstated, their article will remain for a minimum of five years or the date of reinstatement, whichever is longer.
     
  • Suspensions will generally be removed from the Web site one year after the member’s suspension period has ended. Suspensions coincident with the state boards of accountancy will generally be removed when the member has sent notification that their suspension has been lifted by the state board. However, all suspensions will remain on the Web site for a minimum of one year.
     
  • Admonishments will generally be removed from the Web site one year after the effective date of admonishment. 

Help Protect the Public Interest

Members who notice, suspect or are aware of significant deficiencies in the work of another member should seriously consider referring the matter to the Professional Ethics Division. Prior to referral, consider your responsibilities under Rule 301 of the Code of Professional Conduct if the member is affiliated with a client (e.g., CFO of an audit client). If you are unsure of the applicability of Rule 301, call the Ethics Hotline at 888.777.7077.

Disciplinary actions are updated quarterly.


*Articles have been removed according to the retention schedule.

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2017 Disciplinary Actions

Article Browse AICPA 2017 disciplinary articles.
Published on May 22, 2017

2016 Disciplinary Actions

Article Browse 2016 disciplinary articles.
Published on May 22, 2017

2015 Disciplinary Actions

Article Browse 2015 disciplinary articles.
Published on May 22, 2017

2014 Disciplinary Actions

Article Browse 2014 disciplinary articles.
Published on May 22, 2017

Disciplinary Actions

Overview Help Protect the Public Interest: Members who notice, suspect or are aware of significant deficiencies in the work of another member should seriously consider referring the matter to the Professional Ethics Division.
Published on May 22, 2017

Carson, Mark of Boulder, CO

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Carson’s AICPA membership was suspended for two years, effective March 23, 2017, in connection with the disciplinary action taken by the Colorado State Board of Accountancy.
Published on May 08, 2017

Miller, Chad of Dalhart, TX

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Miller was admonished, effective March 23, 2017, in connection with the disciplinary action taken by the Texas State Board of Accountancy.
Published on May 08, 2017

Moore, Gale of Lincoln City, OR

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Ms. Moore’s AICPA membership was suspended for two years, effective October 17, 2016, in connection with the disciplinary action taken by the Public Company Accounting Oversight Board (PCAOB).
Published on May 08, 2017

Schmidt, Keith of Spokane, WA

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Schmidt’s AICPA membership was suspended for six months, effective March 23, 2017, in connection with the disciplinary action taken by the Washington State Board of Accountancy.
Published on May 08, 2017

Strand, Brian of Sarasota, FL

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Strand’s AICPA membership was terminated, effective March 13, 2017, in connection with the disciplinary action taken by the Department of Business and Professional Regulation – State of Florida.
Published on May 08, 2017

Styles, Michael of Wichita Falls, TX

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Styles’ AICPA membership was terminated, effective March 9, 2017, in connection with the disciplinary action taken by the Internal Revenue Service (IRS).
Published on May 08, 2017

Waegelein, Robert of Pawling, NY

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Waegelein was admonished, effective March 23, 2017, in connection with the disciplinary action taken by the Securities and Exchange Commission (SEC).
Published on May 08, 2017

Utter, Tod of Indianapolis, IN

Disciplinary Actions Under the automatic disciplinary provisions of the Institute’s bylaws, Mr. Utter was admonished, effective February 28, 2017, in connection with the disciplinary action taken by the Indiana Board of Accountancy.
Published on May 08, 2017

2010 Disciplinary Actions

Disciplinary Actions Disciplinary actions for 2010.
Published on April 17, 2017

Kaul, Rajeev of New York, NY

Disciplinary Actions As a result of an investigation of alleged violations of the Code of Professional Conduct of the AICPA, Mr. Kaul, with the firm of Rajeev Kaul, CPA, entered into a settlement agreement under the Joint Ethics Enforcement Program effective March 2, 2017.
Published on April 06, 2017

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